We are continually asked what the benefits are to setting up and running an RIA.  While it is a completely independent choice and one we cannot make for you, there are substantial benefits to running and RIA. For Example:


  • RIAs and their investment adviser representatives can create financial plans and charge a fee for those planning efforts.
  • An RIA diversifies the products one can offer to clients and avoids the pigeonhole of being a one trick pony.
  • It is a natural compliment to an insurance or brokerage business - You don't have to give up one for the other!  You can collect more assets!
  • Allow one to charge ongoing fees for portfolio management.
  • It creates a tangible/salable asset so when you want to retire you have your own personal book of clients, not your BD's or some other RIAs, which you can sell. 
  • Aligns the interests of the client and the adviser. Both of you are interested.
  • You can control your career and be your own boss. 

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We register investment advisers and help them run effective compliance programs.

Benefits of Owning a RIA
Absolutely the Easiest Way to Start a Registered Investment Adviiser.....

"I have had the pleasure of working with Dave since summer of 2009.  I came to Dave through a mutual Investment Adviser.  Dave has provided excellent information while guiding me through the State filing requirements for my "Firm".  Dave's knowledge and experience with Investment Advisers has proven to be a great asset for my Firm.. I retain Dave's services daily to ensure that I meet and comply with the State of Alabama Securities Commission requirements, as they may appear.  Dave has become a good friend in the Financial Industry and I would not have acquired the Registered Investment Adviser Firm without him. "

Sam G.

State RIA - Alabama

Easy-RIA.com prepares new RIAs for a long prosperous future as a successful registered investment adviser.  

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